The Draft OHSAS 18001:2007

by

Charles Corrie
Secretary to the
OHSAS Project Group

May 2007, INLAC, Ixtapa 1

Foreword
Introduction

- Both very similar to those given in ISO 14001

- Informative material only

May 2007, INLAC, Ixtapa 2

1. Scope

This Occupational Health and Safety Assessment Series

(OHSAS) Standard specifies requirements for an occupational
health and safety (OH&S) management system, to enable an
organization to control its OH&S risks and improve its OH&S
performance. It does not state specific OH&S performance
criteria, nor does it give detailed specifications for the design of
a management system.

This OHSAS Standard is applicable to any organization that

wishes to:
a) establish an OH&S management system to eliminate or
minimize risks to personnel and other interested parties who
could be exposed to OH&S hazards associated with its
activities

May 2007, INLAC, Ixtapa 3

1. Scope - continued

b) implement, maintain and continually improve an OH&S

management system;

c) assure itself of its conformity with its stated OH&S policy;

d) demonstrate conformity with this OHSAS Standard by

1) making a self-determination and self-declaration, or
2) seeking confirmation of its conformance by parties
having an interest in the organization, such as customers,
or
3) seeking confirmation of its self-declaration by a party
external to the organization, or
4) seeking certification/registration of its OH&S
management system by an external organization.

May 2007, INLAC, Ixtapa 4

1. Scope - continued

All the requirements in this OHSAS Standard are intended to be

incorporated into any OH&S management system. The extent
of the application will depend on such factors as the OH&S
policy of the organization, the nature of its activities and the
risks and complexity of its operations.

This OHSAS Standard is intended to address occupational

health and safety, and is not intended to address other health
and safety areas such as employee wellbeing/wellness
programs, product safety, property damage or environmental
impacts.

May 2007, INLAC, Ixtapa 5

2. Reference publications
Now limited to purely international documents

3. Terms and definitions

A number of new terms now imported from ISO 9001 or ISO
14001, e.g. for nonconformity, corrective action,
preventive action

May 2007, INLAC, Ixtapa 6

3.1
acceptable risk
risk that has been reduced to a level that can be tolerated
by the organization having regard to its legal obligations
and its own OH&S policy (3.16)

3.6
hazard
source, situation, or act with a potential for harm in terms of
human injury or ill health (3.8), or a combination of these

3.8
ill health
identifiable, adverse physical or mental condition arising
from and /or made worse by a work activity and/or work-
related situation.
May 2007, INLAC, Ixtapa 7
3.9
incident
work-related event(s) in which an injury or ill health (3.8)
(regardless of severity) or fatality occurred, or could have
occurred

NOTE 1 An accident is an incident which has given rise to

injury, ill health or fatality.

NOTE 2 An incident where no injury, ill health, or fatality

occurs may also be referred to as a near-miss, "near-hit",
"close call" or "dangerous occurrence".

NOTE 3 An emergency situation (see 4.4.7) is a particular

type of incident

May 2007, INLAC, Ixtapa 8

3.12
occupational health and safety (OH&S)
conditions and factors that affect, or could affect, the health
and safety of employees/workers, temporary workers,
contractor personnel, visitors and any other person in the
workplace (3.23)

NOTE Organizations can have a legal requirement for the

health and safety of persons beyond the immediate
workplace, or who are exposed to the workplace activities

May 2007, INLAC, Ixtapa 9

3.21
risk
combination of the likelihood of an occurrence of a
hazardous event or exposure(s) and the severity of injury or
ill health (3.8) that can be caused by the event or
exposure(s).

May 2007, INLAC, Ixtapa 10

3.23
workplace
any physical location in which work related activities are
performed under the control of the organization

NOTE When giving consideration to what constitutes a

workplace, the organization (3.17) should take into account
the OH&S effects on personnel who are, for example,
travelling or in transit (e.g. driving, flying, on boats or trains),
working at the premises of a client or customer, or working at
home

May 2007, INLAC, Ixtapa 11

4.1 General requirements

The organization shall establish, document, implement,

maintain and continually improve an OH&S management
system in accordance with the requirements of this OHSAS
Standard and determine how it will fulfil these requirements.
The organization shall define and document the scope of its
OH&S management system.

May 2007, INLAC, Ixtapa 12

4.2 OH&S policy
Top management shall define and authorise the
organization's OH&S policy and ensure that within the
defined scope of its OH&S management system it:

a) is appropriate to the nature and scale of the organizations

OH&S risks;

b) includes a commitment to prevention of injury and ill health

and continual improvement in OH&S management and
OH&S performance

c) includes a commitment to at least comply with applicable

legal requirements and with other requirements to which
the organization subscribes that relate to its OH&S hazards

May 2007, INLAC, Ixtapa 13

4.2 OH&S policy

d) provides the framework for setting and reviewing OH&S

objectives,

e) is documented, implemented and maintained;

f) is communicated to all persons working under the control

of the organization with the intent that they are made
aware of their individual OH&S obligations;

g) is available to interested parties; and

h) is reviewed periodically to ensure that it remains relevant

and appropriate to the organization.

May 2007, INLAC, Ixtapa 14

4.3 Planning
4.3.1 Hazard identification, risk assessment and
determining controls
The organization shall establish, implement and maintain a
procedure(s) for the ongoing hazard identification, risk
assessment, and determination of necessary controls.

The procedure(s) for hazard identification and risk

assessment shall take into account:
a) routine and non-routine activities;
b) activities of all persons having access to the workplace
(including contractors and visitors);
c) human behaviour, capabilities and other human factors;
d) identified hazards originating outside the workplace
capable of adversely affecting the health and safety of
persons under the control of the organization within the
workplace May 2007, INLAC, Ixtapa 15
4.3.1 - continued

e) hazards created in the vicinity of the workplace by work-

related activities under the control of the organization;

NOTE 1 It may be more appropriate for such hazards to be

assessed as an environmental aspect.

f) infrastructure, equipment and materials at the workplace,

whether provided by the organization or others;

g) changes or proposed changes in the organization, its

activities, or materials;

May 2007, INLAC, Ixtapa 16

4.3.1 - continued

h) modifications to the OH&S management system, including

temporary changes, and their impacts on operations,
processes, and activities.

i) any applicable legal obligations relating to risk

assessment and implementation of necessary controls (see
also the NOTE to 3.12)

j) the design of work areas, processes, installations,

machinery/equipment, operating procedures and work
organization, including their adaptation to human
capabilities

May 2007, INLAC, Ixtapa 17

4.3.1 - continued

The organizations methodology for hazard identification and

risk assessment shall:

a) be defined with respect to its scope, nature and timing to

ensure it is proactive rather than reactive; and

b) provide for the identification, prioritization and

documentation of risks, and the application of controls, as
appropriate.

For the management of change, the organization shall identify

the OH&S hazards and OH&S risks associated with changes
in the organization, the OH&S management system, or its
activities, prior to the introduction of such changes.
May 2007, INLAC, Ixtapa 18
4.3.1 - continued

The organization shall ensure that the results of these

assessments are considered when determining controls.

When determining controls, or considering changes to

existing controls, consideration shall be given to reducing
the risks according to the following hierarchy:
a) elimination
b) substitution
c) engineering controls
d) signage/warnings and/or administrative controls
e) personal protective equipment.

NOTE 2 For further guidance on hazard identification, risk

assessment and risk controls, see OHSAS 18002.
May 2007, INLAC, Ixtapa 19
4.3.1 - continued

The organization shall document and keep the results of

identification of hazards, risk assessments and determined
controls up to date.

The organization shall ensure that the OH&S risks and

determined controls are taken into account when
establishing, implementing and maintaining its OH&S
management system.

NOTE 2 For further guidance on hazard identification, risk

assessment and risk controls, see OHSAS 18002.

May 2007, INLAC, Ixtapa 20

4.3.2 Legal and other requirements

The organization shall establish, implement and maintain a

procedure(s) for identifying and accessing the legal and other
OH&S requirements that are applicable to it.

The organization shall ensure that these applicable legal

requirements and other requirements to which the
organization subscribes are taken into account in establishing,
implementing and maintaining its OH&S management system.

The organization shall keep this information up-to-date.

The organization shall communicate relevant information on

legal and other requirements to persons working under its
control, and to other relevant interested parties.
May 2007, INLAC, Ixtapa 21
4.3.3 Objectives and programme(s)

The organization shall establish, implement and maintain

documented OH&S objectives, at relevant functions and
levels within the organization.

The objectives shall be measurable, where practicable, and

consistent with the OH&S policy, including the commitments
to the prevention of injury and ill health, to compliance with
applicable legal requirements and with other requirements
to which the organization subscribes, and to continual
improvement.

May 2007, INLAC, Ixtapa 22

4.3.3 - continued

When establishing and reviewing its objectives, an

organization shall take into account the legal requirements
and other requirements to which the organization
subscribes, and its OH&S risks. It shall also consider its
technological options, its financial, operational and business
requirements, and the views of relevant interested parties.

May 2007, INLAC, Ixtapa 23

4.3.3 - continued

The organization shall establish, implement and maintain a

programme(s) for achieving its objectives. Programme(s)
shall include as a minimum
a) designation of responsibility and authority for achieving
objectives at relevant functions and levels of the
organization, and
b) the means and time-frame by which the objectives are to be
achieved.

The programme(s) shall be reviewed at regular and planned

intervals, and adjusted as necessary, to ensure that the
objectives are achieved.

May 2007, INLAC, Ixtapa 24

4.4 Implementation and operation
4.4.1 Resources, roles, responsibility, accountability and
authority
Top management shall take ultimate responsibility for OH&S and
the OH&S management system.
Top management shall demonstrate its commitment by

a) ensuring the availability of resources essential to establish,

implement, maintain and improve the OH&S management
system.

NOTE 1 Resources include human resources and specialized skills,

organizational infrastructure, technology and financial resources.

b) defining roles, allocating responsibilities and accountabilities, and

delegating authorities, to facilitate effective OH&S management;
roles, responsibilities, accountabilities, and authorities shall be
documented and communicated.
May 2007, INLAC, Ixtapa 25
4.4.1 continued
The organization shall appoint a member(s) of top management
with specific responsibility for OH&S, irrespective of other
responsibilities, and with defined roles and authority for:

a) ensuring that the OH&S management system is established,

implemented and maintained in accordance with this OHSAS
Standard;

b) ensuring that reports on the performance of the OH&S

management system are presented to top management for
review and used as a basis for improvement of the OH&S
management system.

NOTE 2 The top management appointee (e.g. in a large

organization, a Board or executive committee member) may
delegate some of their duties to a subordinate management
representative(s) while still retaining accountability.
May 2007, INLAC, Ixtapa 26
4.4.1 continued

The identity of the top management appointee shall be made

available to all persons working under the control of the
organization.

All those with management responsibility shall demonstrate

their commitment to the continual improvement of OH&S
performance.

The organization shall ensure that persons in the workplace

take responsibility for aspects of OH&S over which they
have control, including adherence to the organizations
applicable OH&S requirements.

May 2007, INLAC, Ixtapa 27

4.4.2 Competence, training and awareness

The organization shall ensure that any person(s) under its

control performing tasks that can impact on OH&S is (are)
competent on the basis of appropriate education, training or
experience, and shall retain associated records.

The organization shall identify training needs associated with

its OH&S risks and its OH&S management system. It shall
provide training or take other action to meet these needs,
evaluate the effectiveness of the training or action taken,
and retain associated records.

May 2007, INLAC, Ixtapa 28

4.4.2 - continued

The organization shall establish, implement and maintain a

procedure(s) to make persons working under its control aware of

a) the OH&S consequences, actual or potential, of their work activities,

their behaviour, and the OH&S benefits of improved personal
performance;

b) their roles and responsibilities and importance in achieving

conformity to the OH&S policy and procedures and to the
requirements of the OH&S management system, including
emergency preparedness and response requirements (see 4.4.7);

c) the potential consequences of departure from specified procedures.

Training procedures shall take into account differing levels of:

a) responsibility, ability, language skills and literacy; and
b) risk. May 2007, INLAC, Ixtapa 29
4.4.3 Communication, participation and consultation

4.4.3.1 Communication

With regard to its OH&S hazards and OH&S management system,

the organization shall establish, implement and maintain a
procedure(s) for

a) internal communication among the various levels and functions of

the organization,

b) communication with contractors and other visitors to the

workplace

c) receiving, documenting and responding to relevant

communications from external interested parties.

May 2007, INLAC, Ixtapa 30

4.4.3.2 Participation and consultation

The organization shall establish, implement and maintain a

procedure(s) for:
a) the participation of workers by their :

- appropriate involvement in hazard identification, risk

assessments and determination of controls,
- appropriate involvement in incident investigation;
- involvement in the development and review of OH&S policies
and objectives;
- consultation where there are any changes that affect their
OH&S;
- representation on OH&S matters.

Workers shall be informed about their participation arrangements,

including who is their representative(s) on OH&S matters.

May 2007, INLAC, Ixtapa 31

4.4.3.2 -continued

b) consultation with contractors where there are changes that affect

their OH&S.

The organization shall ensure that, when appropriate, relevant

external interested parties are consulted about pertinent OH&S
matters.

May 2007, INLAC, Ixtapa 32

4.4.4 Documentation

The OH&S management system documentation shall include

a) the OH&S policy and objectives,

b) description of the scope of the OH&S management system,

c) description of the main elements of the OH&S management

system and their interaction, and reference to related
documents,

May 2007, INLAC, Ixtapa 33

4.4.4 - continued

d) documents, including records, required by this OHSAS

Standard, and

e) documents, including records, determined by the

organization to be necessary to ensure the effective
planning, operation and control of processes that relate to
the management of its OH&S risks.

NOTE It is important that documentation is proportional to the

level of complexity, hazards and risks concerned and is kept
to the minimum required for effectiveness and efficiency.

May 2007, INLAC, Ixtapa 34

4.4.5 Control of documents

Documents required by the OH&S management system and by

this OHSAS Standard shall be controlled. Records are a
special type of document and shall be controlled in
accordance with the requirements given in 4.5.4.

The organization shall establish, implement and maintain a

procedure(s) to

a) approve documents for adequacy prior to issue,

b) review and update as necessary and re-approve documents,

c) ensure that changes and the current revision status of

documents are identified,

May 2007, INLAC, Ixtapa 35

4.4.5 - continued

d) ensure that relevant versions of applicable documents are

available at points of use,

e) ensure that documents remain legible and readily identifiable,

f) ensure that documents of external origin determined by the

organization to be necessary for the planning and operation of
the OH&S management system are identified and their
distribution controlled, and

g) prevent the unintended use of obsolete documents and apply

suitable identification to them if they are retained for any
purpose.

May 2007, INLAC, Ixtapa 36

4.4.6 Operational control

The organization shall determine those operations and activities

that are associated with the identified hazard(s) where the
implementation of controls is necessary to manage the OH&S
risk(s). This shall include the management of change (see
4.3.1)

For those operations and activities, the organization shall

implement and maintain:

a) operational controls, as applicable to the organization and its

activities; the organization shall integrate those operational
controls into its overall OH&S management system.

b) controls related to purchased goods, equipment and services

May 2007, INLAC, Ixtapa 37
4.4.6 - continued

c) controls related to contractors and other visitors to the

workplace

d) documented procedures, to cover situations where their

absence could lead to deviations from the OH&S policy and
the objectives.

e) stipulated operating criteria where their absence could lead to

deviations from the OH&S policy and objectives

May 2007, INLAC, Ixtapa 38

4.4.7 Emergency preparedness and response

The organization shall establish, implement and maintain a

procedure(s):

a) to identify the potential for emergency situations,

b) to respond to such emergency situations.

The organization shall respond to actual emergency situations

and prevent or mitigate associated adverse OH&S
consequences.

In planning its emergency response the organization shall take

account of the needs of relevant interested parties, e.g.
emergency services and neighbours.

May 2007, INLAC, Ixtapa 39

4.4.7 - continued

The organization shall also periodically test its procedure(s) to

respond to emergency situations, where practicable, involving
relevant interested parties as appropriate.

The organization shall periodically review and, where necessary,

revise its emergency preparedness and response
procedure(s), in particular, after periodical testing and after the
occurrence of emergency situations (see 4.5.3).

May 2007, INLAC, Ixtapa 40

4.5 Checking
4.5.1 Performance measurement and monitoring
The organization shall establish, implement and maintain a
procedure(s) to monitor and measure OH&S performance on a
regular basis. This procedure(s) shall provide for:

a) both qualitative and quantitative measures, appropriate to the

needs of the organization;

b) monitoring of the extent to which the organizations OH&S

objectives are met;

c) monitoring the effectiveness of controls (for health as well as

for safety)

d) proactive measures of performance that monitor conformance

with the OH&S programme(s), controls and operational criteria;
May 2007, INLAC, Ixtapa 41
4.5.1 - continued

e) reactive measures of performance that monitor ill health,

incidents (including accidents, near-misses, etc.), and other
historical evidence of deficient OH&S performance;

f) recording of data and results of monitoring and measurement

sufficient to facilitate subsequent corrective action and
preventive action analysis.

If equipment is required to monitor or measure performance, the

organization shall establish and maintain procedures for the
calibration and maintenance of such equipment, as
appropriate. Records of calibration and maintenance activities
and results shall be retained.

May 2007, INLAC, Ixtapa 42

4.5.2 Evaluation of compliance

4.5.2.1 Consistent with its commitment to compliance (see

4.2c)), the organization shall establish, implement and maintain a
procedure(s) for periodically evaluating compliance with
applicable legal requirements (see 4.3.2).

The organization shall keep records of the results of the periodic

evaluations.

NOTE The frequency of periodic evaluation may vary for differing

legal requirements

May 2007, INLAC, Ixtapa 43

4.5.2.2 The organization shall evaluate compliance with other
requirements to which it subscribes (see 4.3.2). The organization
may wish to combine this evaluation with the evaluation of legal
compliance referred to in 4.5.2.1 or to establish a separate
procedure(s).

The organization shall keep records of the results of the periodic

evaluations.

NOTE The frequency of periodic evaluation may vary for differing

other requirements to which the organization subscribes

May 2007, INLAC, Ixtapa 44

4.5.3 Incident investigation, nonconformity, corrective
action and preventive action
4.5.3.1 Incident investigation

The organization shall establish, implement and maintain a

procedure(s) to record, investigate and analyze incidents in
order to

a) determine underlying OH&S deficiencies and other factors

that might be causing or contributing to the occurrence of
incidents.

b) identify the need for corrective action

c) identify opportunities for preventive action

d) identify opportunities for continual improvement

May 2007, INLAC, Ixtapa 45
4.5.3.1 - continued

e) communicate the results of such investigations

The investigations shall be performed in a timely manner.

Any identified need for corrective action or opportunities for

preventive action shall be dealt with in accordance with the
relevant parts of 4.5.3.2.

The results of incident investigations shall be documented and

maintained.

May 2007, INLAC, Ixtapa 46

4.5.3.2 Nonconformity, corrective action and preventive
action

The organization shall establish, implement and maintain a

procedure(s) for dealing with actual and potential
nonconformity(ies) and for taking corrective action and
preventive action. The procedure(s) shall define requirements
for

a) identifying and correcting nonconformity(ies) and taking

action(s) to mitigate their OH&S consequences,

b) investigating nonconformity(ies), determining their cause(s)

and taking actions in order to avoid their recurrence,

c) evaluating the need for action(s) to prevent nonconformity(ies)

and implementing appropriate actions designed to avoid their
May 2007, INLAC, Ixtapa 47
occurrence,
4.5.3.2 - continued

d) recording and communicating the results of corrective action(s)

and preventive action(s) taken, and

e) reviewing the effectiveness of corrective action(s) and

preventive action(s) taken.

Where the corrective action and preventive action identifies new

or changed hazards or the need for new or changed controls,
the procedure shall require that the proposed actions shall be
taken through a risk assessment prior to implementation.

May 2007, INLAC, Ixtapa 48

4.5.3.2 - continued

Any corrective action or preventive action taken to eliminate the

causes of actual and potential nonconformity(ies) shall be
appropriate to the magnitude of problems and commensurate
with the OH&S risk(s) encountered.

The organization shall ensure that any necessary changes

arising from corrective action and preventive action are made
to the OH&S management system documentation.

May 2007, INLAC, Ixtapa 49

4.5.4 Control of records

The organization shall establish and maintain records as

necessary to demonstrate conformity to the requirements of its
OH&S management system and of this OHSAS Standard, and
the results achieved.

The organization shall establish, implement and maintain a

procedure(s) for the identification, storage, protection, retrieval,
retention and disposal of records.

Records shall be and remain legible, identifiable and traceable.

May 2007, INLAC, Ixtapa 50

4.5.5 Internal audit
The organization shall ensure that internal audits of the OH&S
management system are conducted at planned intervals to

a) determine whether the OH&S management system

1) conforms to planned arrangements for OH&S

management including the requirements of this
OHSAS Standard and

2) has been properly implemented and is maintained, and

3) is effective in meeting the organizations policy and

objectives;

b) provide information on the results of audits to management.

May 2007, INLAC, Ixtapa 51

4.5.5 - continued
Audit programme(s) shall be planned, established, implemented
and maintained by the organization, based on the results of risk
assessments of the organizations activities, and the results of
previous audits.

Audit procedure(s) shall be established, implemented and maintained

that address

a) the responsibilities, competencies, and requirements for planning

and conducting audits, reporting results and retaining associated
records,

b) the determination of audit criteria, scope, frequency and methods.

Selection of auditors and conduct of audits shall ensure objectivity

and the impartiality of the audit process.
May 2007, INLAC, Ixtapa 52
4.6 Management review

Top management shall review the organization's OH&S

management system, at planned intervals, to ensure its
continuing suitability, adequacy and effectiveness.

Reviews shall include assessing opportunities for improvement

and the need for changes to the OH&S management system,
including the OH&S policy and OH&S objectives. Records of
the management reviews shall be retained.

Input to management reviews shall include

a) results of internal audits and evaluations of compliance with

applicable legal requirements and with other requirements to
which the organization subscribes,

May 2007, INLAC, Ixtapa 53

4.6 - continued

b) the results of participation and consultation (see 4.4.3)

c) relevant communication(s) from external interested parties,

including complaints,

d) the OH&S performance of the organization,

e) the extent to which objectives have been met,

f) status of incident investigations, corrective actions and

preventive actions,

g) follow-up actions from previous management reviews,

May 2007, INLAC, Ixtapa 54

4.6 - continued

h) changing circumstances, including developments in legal and

other requirements related to OH&S, and

i) recommendations for improvement.

The outputs from management reviews shall be consistent with

the organization's commitment to continual improvement and
shall include any decisions and actions related to possible
changes to

a) OH&S performance

b) OH&S policy and objectives

c) resources, and
May 2007, INLAC, Ixtapa 55
4.6 - continued

d) other elements of the OH&S management system.

Relevant outputs from management review shall be made

available for communication and consultation (see 4.4.3).

May 2007, INLAC, Ixtapa 56

Annex A Correspondence between OHSAS
18001:2007, ISO 14001:2004 and ISO 9001:2000
Example of the tabular presentation

OHSAS 18001:2007 ISO 14001:2004 ISO 9001:2000

4. Resources, roles, 4.4.1 Resources, roles, 5.1 Management
4. responsibility, responsibility and commitment
1 accountability and authority 5.5.1 Responsibility and
authority authority
5.5.2 Management
representative
6.1 Provision of
6.3 resources
Infrastructure

May 2007, INLAC, Ixtapa 57

Publication of OHSAS 18001:2007 is expected at

the end of June/ early July,

following final editing and typesetting

May 2007, INLAC, Ixtapa 58

Thank you
For

Your attention
Charles Corrie

May 2007, INLAC, Ixtapa 59